Online Submission of Risk-Based Capital Adequacy (RBCA) Reports

October 9, 2017SEC MEMORANDUM CIRCULAR NO. 12-17TO:Broker Dealers in Securities   Subject:Online Submission of Risk-Based Capital Adequacy (RBCA) Reports In line with the continuing program to foster efficient business operations, particularly in the performance of its monitoring and enforcement function, and in accordance with Section 27 of Republic Act No. 8792, otherwise known as the E-Commerce Act and Section 37 of its Implementing Rules and Regulations, this guidelines for on-line submission of the Risk-Based Capital Adequacy (RBCA) Reports is hereby provided to Broker Dealers in Securities covered by the bi-monthly submission of the RBCA reports prescribed under Rule 49.1.1.3 of the 2015 Implementing Rules and Regulations of the Securities Regulation Code (2015 SRC IRR). SECTION 1. E-Mail Address for On-Line Submission of RBCA Report. —On-line submission of RBCA Reports shall be done via email message to <[email protected]>.SECTION 2. Use of the Public Key Infrastructure (PKI) Technology Provided by the Department of Information and Communication Technology (DICT). —In the on-line submission of the RBCA Reports, the company shall use the Public Key Infrastructure (PKI) technology provided...